EOSC Governance Development Forum EOSC Governance Framework Matthew Dovey, Jisc matthew.dovey@jisc.ac.uk

EOSC Governance EC communication on EOSC governance structure (COM(2016) 178 final): Create a fit-for-purpose pan-European governance structure to federate scientific data infrastructures and overcome fragmentation. The institutional setup will oversee long-term funding, sustainability, data preservation and stewardship. It will build on existing structures to involve scientific users, research funders and implementers* * Such as ESFRI, INSPIRE, eIRG, GEANT, PRACE, ELIXIR, the Belmont Forum and similar federating initiatives www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

EOSC Declaration – Governance Model A long-term, sustainable research infrastructure in Europe requires a strong and flexible governance model based on trust and increasing mutuality. As interdisciplinarity is one of the main objectives of the EOSC, the governance model should be based on representativity, proportionality, accountability, inclusiveness and transparency. www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

EOSCPilot Objectives EOSCpilot project will: establish a governance framework for the EOSC and contribute to the development of European open science policy and best practice; develop a number of pilots that integrate services and infrastructures to demonstrate interoperability in a number of scientific domains; and engage with a broad range of stakeholders, crossing borders and communities, to build the trust and skills required for adoption of an open approach to scientific research www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

EOSC Governance Example of basic notion of stakeholder engagement ”Those groups who can affect or are affected by the achievements of an organization's purpose should be given the opportunity to comment and input into the development of decisions that affect them” (Stakeholder Engagement: A Road Map to Meaningful Engagement, Doughty Centre, Cranfield School of Management) www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

Governance Models Operational (primary focus: operations) Collective (primary focus: operations/inclusive decision-making processes) Management (primary focus: management of operations) Constituent representational (primary focus: constituent interests) Traditional (primary focus: governance) Results-based (primary focus: governance) Policy governance (primary focus: governance) Fundraising board (primary focus: fundraising activities) Advisory board (primary focus: advice and connections) http://www.synergyassociates.ca/publications/OverviewGovernanceModels.htm www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

Governance WP Objectives To design and trial a stakeholder driven governance framework with the involvement of research communities, research institutions, research infrastructures including e-infrastructures, and research funding bodies, to shape and oversee future development of the European Open Science Cloud. To identify appropriate federated governance model(s) and decision making structure for the EOSC www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

Governance: Approach The Governance framework will: enable and encourage engagement from the key stakeholder communities: European e-Infrastructures, Data and Research Initiatives, Service and cloud providers, Research funders, Research Communities and Institutions, Research Infrastructures, Policy makers. enable interoperability and co-ordination within a number of different domains: legal interoperability, interoperability of organisational processes, technical interoperability, operational interoperability, data and information interoperability

EOSC Declaration Strategic Executive Advisory The EOSC governance framework will be co-designed, stakeholder driven and composed of three main layers: Strategic Institutional, including EU Member States and European Commission Executive/Operational, including a governance board at the executive level and relevant working committees (e.g. thematic and functional) Advisory, including a stakeholder forum Executive Advisory DG RTD

EOSC Governance structure Stakeholders Forum Governance Board (Executive) Institutional funders (MS, EC) Roadmap, Council conclusions EOSC Co-ordination structure Interfaces with relevant MS-led initiatives FAIR compliance mechanisms EOSC access mechanisms Interfaces with discipline-based initiatives Any other relevant/past project

Community Governance Models Stakeholders Forum (Executive) Governance Board Institutional funders (MS, EC) 1 Community Problems Solving: Aligns “Engaging Citizens” and “Getting Things Done.” 2 Organizations Managing for Results: Aligns “Measuring Results” and “Getting Things Done.” 3 Citizens Reaching for Results: Aligns “Engaging Citizens” and “Measuring Results.” 4 Communities Governing for Results: Aligns all three core skills. http://www.rtmteam.net/page.php?pageID=25&section=overview_of_ecg www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

EOSCPilot Governance Framework Multi-layered Multi-actored Top-down and bottom up depending on context Believed consistent with EOSC Declaration www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

Digital Governance Ecosystem https://www.icann.org/news/multimedia/1563 www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

EOSC Governance Ecosystem Research Community Layer Key Governance Agency Thematic Service Layer Key Governance Agency Potentially useful view\infographic but… Issues Assumes static roles – stakeholder play multiple roles Service centric not user driven Data and Content Layer Key Governance Agency e-Infrastructure Layer Key Governance Agency www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

The Governance Framework Governance Framework Grammar The Governance Framework Engagement Mechanisms Expert Group Forum Council Board Legal Structure outlines Engagement Mechanisms needed to enable EOSC Stakeholders to co-ordinate the Engagement Aspects required to ensure interoperability within the Engagement Contexts, according to the Actors’ Roles within the Supply Chain. An Engagement Context governs multiple Processes EOSC Stakeholders European e-Infrastructures Data/Research Initiatives Cloud providers Research funders Cloud community Research Communities and Institutions Research Infrastructures (RIs) Policy makers Supply Chain Roles Consumer\Researcher Intermediary\Aggregator Provider Funder Policy/Regulatory Engagement Contexts Legal\Policy Organisational Operational Technical Data\Information Skills Research challenges\agenda Financial Political Engagement Aspects Responsibility Strategy Acquisition Performance Conformance Human behaviour is an implementation of a Governance Structure Governance Structure “Duplet” defines what needs to be achieved and how Governance Intent Triplet defines who and their objective in order to meet an Governance Intent A Governance Actor

User Driven or User Agile Researcher Define Needs Define Needs Define Needs Regulator Incentivise & Compensate Funder Define Needs Define & Monitor Policies Aggregator Define Needs Define Needs Define Needs Provider Provider Provider www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

EOSC Model - Overview Member States Institutional Market-driven Interventionist Monopolistic Executive “Other Resources” “EOSC Compatible Resources” “EOSC Compliant Resources” “EOSC Managed Resources” “Core Resources” “Advisory” = Governance Ecosystem = Community www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

EOSC Model – Structures and Actors Community Forums Funder Forums EOSC Core Member States – Institutional Forum External Funders Forums? Research Community Forums Managed Compliant Provider Forums Regulatory and Compliance Compatible Executive Board Others? External www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

EOSC Model: Responsibility Matrices Community Forums Funders Forums Regulatory\ Compliance Consumer Aggregator Provider Funder Regulatory Legal\Policy Organisational Operational Technical Data\Information Skills Research challenges\agenda Financial Political Responsible Accountable Consulted Informed www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

Discussion www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

Discussion Topics Should we try to accommodate Monopolistic, Interventionist and Market-driven economies within EOSC? Does the model outline allow all three to coexist How might the Stakeholder Forums self-organise What are the more detailed Processes within the Engagement Contexts What is the responsibility map from Processes to Stakeholder Roles www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

EOSC Governance Development Forum: egdf-secretariat@eoscpilot EOSC Governance Development Forum: egdf-secretariat@eoscpilot.eu To participate, register at: https://eoscpilot.eu/user/register www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563

Process/Function/Task Institutional (Oversight) Layer RACI Policy/Process Area Policy/Process Process/Function/Task Institutional (Oversight) Layer RACI Executive/Operational Layer RACI Advisory Layer RACI Legal/policy Rules of Engagement oversight Enforcement of RoE Development of RoE (i.e. amendments/new versions) Organisational Technical EOSC Service Compliance Quality Assurance (i.e. meeting required service standard for users) Data/information Data protection compliance Skills Research challenges/agenda User requirements satisfaction (i.e. oversight of process for gathering and handling expression of user needs?) Financial Budget approval budget model agreement budget amounts agreement etc Budget oversight e.g. Audit and Risk Committee Sub-committee reporting to which layer of governance? Accounts sign-off Political www.eoscpilot.eu The European Open Science Cloud for Research pilot project is funded by the European Commission, DG Research & Innovation under contract no. 739563